Records Retention Schedule Adult Social Care

Records Retention Schedule
for
Adult Social Care
JANUARY 2014
Version 3.8
18/05/2015
Author: Peter Bode
ICT Security & Standards Team
Consultation Lead: Laura Scott-Smith
This retention schedule was developed in consultation with Laura Scott-Smith
and Kit Bryce of the Social Care Archiving Project. It has been devised in the
first instance to assist the project team with clearing the backlog of adult social
care records. However, the schedule is to be incorporated into procedures for
all Adult Social Care Teams following approval.
Signature:_______________________________
Name: Peter Bode
Title: Records Manager
Date: 27/10/2014
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Signature:__
____________________________
Name: Denise D’Souza
Title: Director of Adult Social Care Services
Date: 27/10/2014
Retention and Destruction of Records
Record Type – Service User
1. Introduction
Adult Social Care is dependent on its records (in whatever format) to operate
efficiently and to account for its actions. Records are kept for as long as they are
required for legal and administrative purposes and are then destroyed or retained as
archives to ensure a permanent record of the activities of the department.
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The Data Protection Act 1998 requires that personal data shall be: adequate,
relevant and not excessive for the purpose(s) for which they are held (the third
principle); accurate and where necessary kept up to date (sixth principle); and not
kept for longer than is necessary for its purpose(s) (fifth principle).
This guidance relates to all service user and carer records and associated records
(e.g. complaints, financial) created, received or maintained by staff in the course of
carrying out their functions.
2. Definition of a Service User Record and Carer Record
A Service User Record and Carer Record is information created, received and
maintained as evidence and information which has been stored as a record in either
paper file or electronic file. This includes the following information

Assessment and Review

Case notes/Diary Sheets

Correspondence

Complaints

Financial

Contract documentation relating to a specific service user/carer

Service modules e.g. residential, respite, home care and day services

Safeguarding modules

Registrations
3. Case Closure
The decision to close a case record and apply the retention and destruction
schedule is the responsibility of the Team in which the case record was held.
4. Retention, Archiving and Destruction
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The retention period is applied to the person’s record after the case is closed
(usually following the last contact made with the department). Generally personal
information should not be held for longer than that specified in the attached retention
schedule and should be destroyed, unless it is felt it should be retained permanently
because it is of historical significance or a high profile record.
There must be legitimate reasons for extending the retention/archive period in order
to comply with the Data Protection Act 1998.
This applies in the following circumstances

Records relating to cases where legal action is pending or that are
being used in investigations for example by the police or internal
audit. These must not be destroyed until the threat of litigation has
passed.

Information that has been requested under the Data Protection Act
1998 and Freedom of Information Act 2000. It is an offence to
alter, deface, erase, destroy or conceal such information. Records
that were due for destruction but were subject to a Freedom of
Information request should be retained for six months after the last
correspondence on the matter in accordance with The National
Archives Retention and Disposal Guidelines.

Where work has triggered major criticisms of the service

The retention/archiving period needs to comply with the retention
period of a partner agency because the record has been integrated
e.g. Mental Health or Learning Disability.
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5. Permanently Archive: Please note that permanent archive arrangements with
East Sussex are under review and further information regarding this will follow. In
the interim please retain or store any records that fall into the following categories:


The work is of historical significance
High Profile cases e.g. serious case reviews
If you have records that are not covered by this Retention Schedule, please do not
assume they can automatically be destroyed. Please contact Peter Bode,
Corporate Records Manager - Tel: 296634
6. Destruction
To prevent unauthorised or accidental disclosure of personal information, it is
important to exercise care in its disposal.
7. Retention Schedule (Preliminary Retention Classes for Adult Social Care) –
see attached
8. Guidance for Recording information about Paper Files in CareFirst – please
contact Sue Smith for a copy on Tel: 295852 or visit
http://brightonadults.proceduresonline.com
9. Completion of Records Disposal Guidance/Template – please contact Laura
Scott-Smith (Tel: 295049) or Peter Bode (Tel: 296634) for a copy or visit
http://brightonadults.proceduresonline.com
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10. Transferring Records to Storage – please follow guidance on transferring record
consignments to Modern Records File Storage available at http://wave.brightonhove.gov.uk/supportingyou/ict/servicecatalogue/Pages/Modern-records.aspx
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BHCC1.- – Community Support Case Management
The activities involved in providing and recording the provision of, care services to adults in need, with the aim of enabling them to live
independently in the community.
Includes: DISABILITY SUPPORT
Use: SAFEGUARDING categories where safeguarding is not associated with mental health
1.0001
Integrated Mental Health
Temporary - Retain
NHS Guidance to Trusts,
Case Records – where
20 Years from date
2009
service user was sectioned
of last contact.
Y
Adult Care Services
Y
Adult Care Services
under the Mental Health Act.
See also: 1.0092
1.0002
Integrated Mental Health
Temporary – Retain
NHS Guidance to Trusts,
Case Records – where
10 Years from date
2009
service user was not
of last contact.
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sectioned under the Mental
Health Act.
See also: 1.0092
1.0003
Integrated Mental Health
Temporary – Retain
NHS Guidance to Trusts
Case Records – where the
8 years following last
2009
subject is known to be
action.
Y
Adult Care Services
Y
Adult Care Services
deceased.
Note: In cases where criminal
proceedings eventuate, the file must
be retained for eight years following
finalisation of these.
See Also 1.0092
1.0097
Non-Integrated Mental
Temporary - Retain
NHS Guidance to Trusts,
Health Case Records –
20 Years from date
2009
where service user was
of last contact.
sectioned under the Mental
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Health Act.
See also: 1.0092
1.0098
Non-Integrated Mental
Temporary – Retain
NHS Guidance to Trusts,
Health Case Records –
10 Years from date
2009
where service user was not
of last contact.
Y
Adult Care Services
Y
Adult Care Services
sectioned under the Mental
Health Act.
See also: 1.0092
1.0099
Non-Integrated Mental
Temporary – Retain
NHS Guidance to Trusts
Health Case Records –
8 years following last
2009
where the subject is known
action.
to be deceased.
Note: In cases where criminal
proceedings eventuate, the file must
be retained for eight years following
finalisation of these.
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See Also 1.0092
1.0100
Integrated Social Care Case
Retain 100 Years
Limitation Act 1980, Section
Records involving a mental
from Date of birth
28
Non-integrated social care
Retain 100 Years
Limitation Act 1980, Section
case records involving a
from Date of Birth
28
Retain Permanently
East Sussex Records Office
Y
Adult Care Services
Y
Adult Care Services
Y
Adult Care Services
capacity or deprivation of
liberty assessment.
See also: 1.0092
1.0101
mental capacity or
deprivation of liberty
assessment.
1.0092
Social Care Case Records
which meet the following
Collections Policy
criteria

National public interest
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
A change to policy or
procedures for delivery of
care

Regulatory action

Sustained media
attention
1.0004
Integrated Learning Disability
Temporary – Retain
NHS Guidance to Trusts,
Client Case Records.
10 years following
2009
Y
Adult Care Services
Y
Adult Care Services
death
See also: 1.0092
1.0108
Non-Integrated Learning
Temporary – Retain
Limitation Act 1980 (Section
Disability Client Case
for 100 years from
28)
Records.
date of birth
Where service user is known
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to be deceased see 1.0102
See also 1.0092
1.0102
Non-Integrated Learning
Temporary – Retain
NHS Guidance to Trusts
Disability Client Case
10 years following
2009
Records where service user
death
N
Adult Care Services
Y
Adult Care Services
Y
Adult Care Services
known to be deceased.
See also: 1.0092
296
Non-Integrated Learning
Temporary – Retain
Limitation Act 1980, Section
Disability Client Case
7 Years following
5
Records where service user last contact
known to be deceased.
See also: 1.0092 and 1.0101
1.0005
Short Term Services formerly Temporary – Retain
NHS Guidance to Trusts,
Intermediate Care Records
2009
for 8 years after last
contact
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1.0008
Informal Carer Case Files
Temporary – Retain
Limitation Act 1980 (Section
7 Years from date of
2)
Y
Adult Care Services
Y
Adult Care Services
last contact with carer
or other social care
staff member.
1.00061
Non-Integrated Adult Service
Temporary – Retain
User Case Records
for 7 years following
last contact
Limitation Act 1980
VAT Act 1994
Includes cases for:
Older People
Vulnerable adults
Guardianship
Occupational Therapy
Asylum seekers
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Day and home care
Short Term Disabilities
Physical Disability
Sensory Disability
Note: This class not to be used
for mental disability cases.
1.00062
THIS CLASS HAS BEEN
Temporary – Retain
Limitation Act 1980
Y
Adult Care Services
RETIRED FROM FURTHER for seven years
[Retired]
USE:
following death
Non-Integrated Adult Service
User Case Records Permanent Disabilities
Includes:
Physical Disability
Sensory Disabilities
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Mental Disabilities
Learning Disability
Note: for Integrated Learning
Difficulty Case Records, use
1.0004.
1.0063
Non-integrated Adult Service
Temporary – Retain
User Case Records – where
for 100 years
date of death is unknown
following Date of
and it has been at least 7
Birth
Limitation Act 1980
Y
Adult Care Services
East Sussex Records Office
Y
Adult Care Services
years since last contact.
See Also: 1.0092
1.0093
THIS CLASS HAS BEEN
RETIRED FROM FURTHER
[Retired: See
Retain Permanently
Collection Policy
USE:
1.0092]
USE: 1.0092
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Non-integrated Adult Service
User Case Records to which
the following criteria apply:

National public interest

A change to policy or
procedures for delivery of
care

Regulatory action

Sustained media
attention
1.0007
Disability Registration
Temporary – Retain
DH guidance for CVI, LVL and Y
Documents
for 3 years following
RVI: Explanatory notes for
transfer to a new
SSDs & optometrists (Last
local authority or
updated: September 2007)
Includes: CV1 and BD8
Adult Care Services
following death.
Data Protection Act 1998
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1.0009
Clients of Concern – Care
Temporary – Review
BHCC - Clients of Concern
First Indicators
status on a six
Procedures
Y
Adult Care Services
Y
Adult Care Services
Y
Adult Care Services
monthly basis and
remove flag when
appropriate to do so.
1.0010
1.0011
Records documenting one off Temporary – Retain 1
contacts to Adult Care
year following
Teams.
contact.
Reports and investigations of
Temporary – Retain
incidents on Council
6 years following
premises involving adult care
date of incident.
Limitation Act 1980
service users.
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BHCC1. – Complaints Management
The activities involved in receiving and responding to complaints concerned with the provision of adult care services.
1.0012
Adult Care Complaints –
Temporary – Retain
Partially Upheld
7 Years following
Limitation Act 1980
Y
Adult Care Services
Limitation Act 1980
Y
Adult Care Services
Limitation Act 1980
Y
Adult Care Services
resolution of
complaint.
1.0013
Adult Care complaints
Temporary – Retain
upheld – where investigation
7 years after last
resulted in a form letter
action
apology
1.0014
Adult Care complaints –
Temporary – Retain
investigated and dismissed.
7 years after last
action
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1.0096
Adult Care Complaints –
Temporary – Retain
Resulting in a payout
7 years after last
Limitation Act 1980
Y
Adult Care Services
East Sussex Records Office
Y
Adult Care Services
N
Adult Care Services
action
Note: for complaints of
national interest or other
significance use 1.0088
1.0088
Adult Care complaints
Retain permanently
resulting in:

National public interest

A change to policy or
collection policy
procedures

Regulatory action

Sustained media
attention
1.0095
Independent Complaints
Temporary – Retain
Investigator Registration
7 Years Following
Files
signing of contract
Limitation Act 1980
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305
Complaints by or on behalf
Temporary – Retain
of carers
7 Years following
Limitation Act 1980, Section 2
Y
Adult Care Services
Y
Adult Care Services
Y
Adult Care Services
resolution of
complaint.
BHCC1 – Hospital Admissions
The activities involved in delivering social care interventions to people admitted to hospital
1.0103
1.0104
Hospital Social Work
Temporary - Retain 1
East Sussex Social Care
Referrals – Out of Area East
Year following
Requirement
Sussex Service Users
intervention
Hospital Social Work
Temporary Retain 1
West Sussex Social Care
Referrals – Out of Area
month following
Requirement
West Sussex Service Users
intervention
BHCC1. Operational Planning
The activities involved in formulating and implementing plans of action
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1.0118
Team Plans (Annual)
Temporary – retain 3
Common Administrative
N
Adult Care Services
years following end of Practice
financial year for
which the plan was
formulated
BHCC1. Personnel Management
The activities associated with recruitment and management of staff
1.0106
CRB Check documentation
Temporary – Destroy
CRB Code of Practice
6 months after
Guidance
Y
finalisation of
recruitment
1.0107
Documents recording
Temporary – Destroy
decision making as to
6 Years following
whether to employ someone
finalisation of
with a criminal record
recruitment
Limitation Act, Section 5
Y
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1.0117
Team Meetings – Minutes
Temporary – Retain
Common Administrative
and Papers
3 years following
Practice
N
date of meeting
BHCC1 – Reporting
The activities involved in compiling and reports to senior management and external regulators.
1.0105
Department for Health
Temporary – Destroy
Funding Returns
6 Years following
Limitation Act, Section 5
Adult Care Services
end of year in which
the return was
submitted
BHCC1. Residential Care Case Management
The activities involved in case administration of adults residing in care homes.
1.0015
Residents Case Files –
Temporary – Retain
where resident has been
for 20 years following
sectioned under the Mental
last contact
Mental Health Act 1983
Adult Care Services
Care Homes Regulations
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Health Act.
2001, Schedule 3
See also: 1.0092
1.0016
Residents Case Files
Temporary – Retain
Care Homes Regulations
6 years following
2001, Schedule 3
Y
Adult Care Services
Y
Adult Care Services
departure from the
home.
See also: 1.0092
1.0017
Residents Case files –
Temporary – Retain
Care Homes Regulations
cases where resident dies
8 years following last
2001, Schedule 3
whilst in care.
action.
Note: In cases where death
results in legal action, “last
action” is taken from the
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conclusion of the case.
See also: 1.0092
1.0018
Care Home Residents -
Temporary – Retain
Care Homes Regulations
Informal Carer’s Case Files
6 years following
2001, Schedule 3
Y
Adult Care Services
Y
Adult Care Services
Y
Adult Care Services
departure from home.
1.0115
Learning Disability Service –
Temporary – Retain
Common Administrative
Non case file service user
12 months following
Practice
information:
date of recording
Includes:
Meals
Bowel Charts
Participation Indexes
Task Analysis Documentation
1.0116
Learning Disability – Weekly
Temporary – Retain
Care Homes Regulations
Service User Meetings –
3 years following
2001
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Minutes and Papers
date of meeting
BHCC1. Residential Care Establishments
The activities involved in operating a Residential Care Establishment
1.0066
Statement of Purpose –
`Temporary – Retain
Care Homes Regulations
under Schedule 1 of the
3 years after the date
2001, Regulation 17
regulations
the statement
N
Adult Care Services
N
Adult Care Services
N
Adult Care Services
N
Adult Care Services
amended or
superseded
1.0067
1.0068
Service User’s Guide -
Temporary – Retain
Care Homes Regulations
under Section 5 of the
3 years after the date
2001, Regulation 17
regulations
of the last entry
Annual Accounts - under
Temporary – Retain
Section 25 of the regulations 3 years after the date
Care Homes Regulations
2001, Regulation 17
of the last entry
1.0069
Registered Provider’s
Temporary – Retain
Care Homes Regulations
monthly Inspection Reports
3 years after the date
2001, Regulation 17 &
of the last entry
Regulation 26
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1.0070
Record of Persons
Temporary – Retain
Care Homes Regulations
Employed
3 years after the date
2001, Regulation 17
Y
Adult Care Services
N
Adult Care Services
Y
Adult Care Services
N
Adult Care Services
N
Adult Care Services
Y
Adult Care Services
of the last entry
1.0071
Staff Rosters
Temporary – Retain
Care Homes Regulations
3 years after the date
2001, Regulation 17
of the last entry
1.0072
1.0073
Records of charges levied
Temporary – Retain
Care Homes Regulations
on individual Service Users
3 years after the date
2001, Regulation 17 &
of the last entry
Section 25 (3) (a)
Records documenting
Temporary – Retain
Care Homes Regulations
deposits of money or
3 years after the date
2001, Regulation 17
property with the
of the last entry
establishment by service
users
1.0074
Records serving as an
Temporary – Retain
Care Homes Regulations
inventory of furniture brought
3 years after the date
2001, Regulation 17 &
into the establishment by
of the last entry
Schedule 4
Temporary – Retain
Care Homes Regulations
Service Users
1.0075
Records documenting
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reporting and investigation of 3 years after the date
Complaints by service users
2001, Regulation 17
of the last entry
or their representatives
1.0076
Records documenting the
Temporary – Retain
reporting and investigation of 3 years after the date
Incidents in relation to
Care Homes Regulations
Y
Adult Care Services
N
Adult Care Services
N
Adult Care Services
N
Adult Care Services
2001, Regulation 17
of the last entry
service users
1.0077
1.0078
Records documenting the
Temporary – Retain
Care Homes Regulations
menus in relation to food
3 years after the date
2001, Regulation 17
provided to service users
of the last entry
Records documenting Fire
Temporary – Retain
Care Homes Regulations
Safety procedures, drills and
3 years after the date
2001, Regulation 17 &
checking of safety
of the last entry
Regulation 23 (4) (e)
Records documenting the
Temporary – Retain
Care Homes Regulations
procedures to be followed
3 years after the date
2001, Regulation 17
for incidents such as
of the last entry
equipment
1.0079
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accidents and missing
service users
1.0080
Daily visitors log
Temporary – Retain
Care Homes Regulations
N
Adult Care Services
3 years after the date
2001, Regulation 17
Limitation Act 1980
N
Adult Care Services
Y
Adult Care Services
N
Adult Care Services
N
Adult Care Services
of the last entry
1.0082
1.0109
Tunstall incident response
Temporary – retain 7
logs
years
CB1 Physical Intervention
Temporary – retain 3
Limitation Act 1980, Section
Data Sheets
years from date of
11
incident
1.0110
Food Hygiene Checks
Temporary – retain 3
Care Homes Regulations,
years after date of
2001
check
1.0111
Health and Safety
Temporary – retain 3
Care Homes Regulations
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Inspections
years after date of
2001
inspection
1.0112
House Diaries
Temporary – retain 3
Care Homes Regulations
Y
Adult Care Services
years after date last
2001
Care Standards Act 2000
Y
Adult Care Services
Y
Adult Care Services
entry
1.0113
E9 Staff Communication
Temporary – retain 5
Sheets
years after date of
entry
1.0114
E8 Residents
Temporary – retain 1
Common Administrative
Summary/Handover Sheets
month following date
Practice
of entry
BHCC1. Carer Recruitment and Management
The activities involved in carer recruitment, assessment, monitoring and support.
Note: For informal carer case records, refer to the Community Support Case Management section.
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1.0019
Shared Lives Carers Case
Temporary – Retain
Limitation Act 1980 (Section
Files
7 years from
2)
Y
Adult Care Services
Y
Adult Care Services
termination of carer
relationship.
1.0020
Applications to be a carer –
Temporary – Retain
Limitation Act 1980 (section
refused or withdrawn
7 years from date of
2)
decision.
BHCC1. – Adult Safeguarding
The activities involved in safeguarding vulnerable adults within the Authority
Use: Mental Health categories where safeguarding is associated with a mental capacity or mental health assessment.
1.0064
Adult Safeguarding Case
Temporary – Retain
Limitation Act 1980, Section
Records – no longer at risk
7 Years after last
2
Y
Adult Care Services
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Includes:
contact
Investigation
Medical Assessment
Protection Plan
Monitoring
Case Reviews
1.0065
Safeguarding Case Records
Temporary – Retain
where subject assessed as
100 Years from date
continuing to pose a risk to
of birth of case file
others in the community.
subject.
Data Protection Act 1998.
Y
Adult Care Services
Y
Adult Care Services
Schedule 3, Section 3(a)
See also: 1.0092
BHCC1. – Personnel Management
The activities involved in departmental/unit level administration of staff
1.0084
Employee local supervision
Temporary – retain 7
Limitation Act 1980
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files
years from date of
departure from the
team
BHCC1. – Finance Processes
The activities involved in administering financial incoming and outgoings
1.0085
Records supporting
Temporary – retain
Common administrative
payments made (paper
hard copies until
practice
originals)
payments are
N
Adult Care Services
N
Adult Care Services
approved
electronically
1.0086
Records supporting
Temporary – retain
payments made (electronic
for 7 years after
system records)
conclusion of
VAT Act 1994
financial transaction
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BHCC1. – Committees & Meetings
The activities involved in recording the details of staff meetings
1.0081
1.0087
Record of Senior Care
Temporary – retain 7
Limitation Act 1980, Section 2 N
Adult Care Services
Officer Meetings
years
Record of Kitchen staff
Temporary – retain 1
Common administrative
Adult Care Services
meetings
year
practice
N
BHCC1. – Serious Case Reviews
The activities involved in conducting reviews of cases of death caused through abuse or neglect, identifying changes to policy and procedure
on the basis of the investigation and implementing those recommendations.
1.0089
Records accumulated for the
purpose of conducting
Retain Permanently
East Sussex Records Office
Y
Adult Care Services
Collection Policy
serious case reviews.
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1.0090
Serious Case Review –
Retain Permanently
Published Reports.
1.0091
Records created and
East Sussex Records Office
Y
Adult Care Services
Y
Adult Care Services
Y
Adult Care Services
Collection Policy
Retain Permanently
received in the course of
East Sussex Records Office
Collection Policy
implementing
recommendations of serious
case reviews.
BHCC1.- Enquiries Management
1.0094
Records accumulated in the
Temporary – Retain
course of handling external
3 months after last
enquiries, requiring only a
action
form letter response or
referral to another service.
NON PREFERRED TERMS
Intermediate Care
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NON PREFERRED TERM:
Use SHORT TERM
SERVICES
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